Step 1: Establish whether you have a complaint

 

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First you should have an understanding of what your adviser can and cannot do for you. Most financial advisers and the firms they work for are fair, efficient and follow the rules.

Your adviser will not be able to:

You can expect your adviser to: 

You may have a complaint if your financial adviser:

Know Your Client (KYC)
This is a form that your financial adviser is responsible for filling out with you. The form contains information about your risk tolerance, financial situation, and investment objectives, experience and knowledge. This form provides protection to both you and your financial adviser. It allows your financial adviser to know what investments are best suited to your situation. Your financial adviser is protected by knowing what can and cannot be included in their client’s portfolio. It is your responsibility to contact your financial adviser to update your information whenever your personal or financial situation change.

If you feel you do have a valid complaint, continue to Step 2>Contact the individual or company.